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SR-FINRA-2019-019
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rules 6110 and 6610 to expand the summary firm data relating to over-the-counter (“OTC”) equity trading that FINRA publishes on its website.
Regulatory Notice 19-21
Summary Pursuant to FINRA Rule 4210(f)(8)(A), FINRA is establishing higher strategy-based margin requirements for exchange-traded notes (ETNs) and options on ETNs in light of the complex nature of these products.  The new requirements for initial and maintenance margin are detailed below. In addition, FINRA is clarifying that ETNs and options on ETNs are not eligible for portfolio
The Neutral Corner - Volume 2—2019
Neutral Corner - Volume 2—2019 Mission Statement     Office of Dispute Resolution and FINRA News Case Filings and Trends Removal of Initial Prehearing Conference Order PDF from FINRA's Website Register for the Portal Today Portal How-to Videos Practising Law Institute: Securities Arbitration 2019: September 10, 2019 SEC Rule
SR-FINRA-2019-018
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make technical and other non-substantive changes within FINRA rules.
Schedule A to the FINRA Sanction Guidelines [Version up to May. 1, 2018]
Violations That Generally Are Not Subject to Censure When Monetary Sanctions of $7,000 or Less Are Imposed Quality of Markets Violations •   ACT Violations—FINRA Rules 7210A–7280A, 7310–7380 and 7110B–7170B •   Backing Away •   Best Execution and Interpositioning •   Confirmation of Transactions (SEC
XI. Supervision [Version up to May. 1, 2018]
•   Disqualified Persons—Failure to Discharge Supervisory Obligations •   Supervision—Failure to Comply With Taping Rule Requirements •   Supervision—Failure to Supervise •   Supervisory Procedures—Deficient Written Supervisory Procedures Disqualified Persons—Failure to Discharge Supervisory Obligations
X. Sales Practices [Version up to May. 1, 2018]
•   Churning or Excessive Trading •   Communications With the Public—Late Filing; Failing to File; Failing to Comply With Rule Standards or Use of Misleading Communications •   Customer Account Transfer Contracts—Failure to Comply With Rule Requirements •   Day-Trading Accounts—Failure to Comply With Risk
IX. Reporting/Provision of Information [Version up to May. 1, 2018]
•   FOCUS Reports—Late Filing; Failing to File; Filing False or Misleading Reports •   Forms U4/U5—Late Filing of Forms or Amendments; Failing to File Forms or Amendments; Filing of False, Misleading or Inaccurate Forms or Amendments •   MSRB Rule G-36 (Timely Filing of Offering Documents With the MSRB)—Late Filing and Failing to
VIII. Quality of Markets [Version up to May. 1, 2018]
•   Extended Hours Trading Risk Disclosure—Failure to Comply With Rule Requirements •   Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements •   Backing Away •   Best Execution—Failure to Comply With Requirements for Best Execution •   ECN Display Rule—Failure to Comply
VII. Qualification and Membership [Version up to May. 1, 2018]
•   Branch Offices—Failure to Register •   Cheating, Using an Impostor, or Possessing Unauthorized Materials in Qualifications Examinations or in the Regulatory Element of Continuing Education •   Continuing Education (Firm Element)—Failure to Comply With Rule Requirements •   Continuing Education (Regulatory